2011-2012 Departmental Performance Report

Chairperson's Message

J. Richard W. HallIt is my privilege to report the activities of the Transportation Appeal Tribunal of Canada (the "Tribunal"). The reporting period of 2011–2012 represents over 25 years of high quality service to Canadians, together with its predecessor, the Civil Aviation Tribunal.

The Tribunal is a quasi-judicial body which resolves matters that impact the livelihood and operations of the aviation, marine and rail sectors and recently, transportation security issues. The guiding principles of the Tribunal are independence, fairness and transportation expertise in administrative law.

I am pleased that the Tribunal continues to make progress and innovations while keeping up with its growing mandate to include cases under the Marine Transportation Security Act and the Canada Shipping Act, 2001.

As the forum for reviewing enforcement and licensing decisions, the Tribunal provides an important mechanism for arbitrating matters between Transport Canada and the air, marine and rail industries that it regulates. The Tribunal facilitates the resolution of many transportation matters by helping parties to communicate and work together.

I offer my gratitude to all Tribunal Members and employees for their dedication to the independent review process for the benefit of Canada's aviation, marine and rail sectors. I am confident that the Tribunal will meet future challenges with the professionalism and commitment to excellence demonstrated by its past and present performances.

J. Richard W. Hall
Chairperson & CEO
Transportation Appeal Tribunal of Canada

Section I: Organizational Overview

Raison d'être

The mandate and the jurisdiction of the Transportation Appeal Tribunal of Canada are provided for by the Transportation Appeal Tribunal of Canada Act. The Tribunal's principal mandate as a multimodal review body is to hold Review and Appeal Hearings at the request of interested parties with respect to certain administrative actions taken under various federal transportation Acts.

Responsibilities

The Tribunal provides the national transportation community with the opportunity to have enforcement and licensing decisions of the Minister of Transport reviewed by an independent body. The Minister's enforcement and licensing decisions may include the imposition of monetary penalties or the suspension, cancellation, refusal to renew or refusal to issue or amend documents of entitlement on medical or other grounds. The person or corporation affected is referred to as the document holder.

These decisions are reviewed through a two-level hearing process: Review and Appeal Hearings. All Hearings are to be held expeditiously and informally, in accordance with the rules of fairness and natural justice.

At the conclusion of a Hearing, the Tribunal may confirm the Minister's decision, substitute its own decision, or refer the matter back to the Minister for reconsideration.

Strategic Outcome(s) and Program Activity Architecture

Strategic Outcome

The Tribunal's strategic outcome is to provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.

Program Activities

The Tribunal's main activity, Review and Appeal Hearings, is the provision of an independent review process for aviation, rail and marine by providing document holders with the opportunity to proceed with a hearing. The Tribunal represents the only forum ensuring that document holders have access to an independent assessment governed by considerations of natural justice. Its role does not overlap with, nor is it duplicated by, any other federal agency, board, commission or Tribunal. It is unique in the transportation field in that its function is entirely adjudicative.

Internal Services are groups of related activities and resources that are administered to support the needs of programs and other corporate obligations of an organization.   These groups are: Management and Oversight Services; Communications Services; Legal Services; Human Resources Management Services; Financial Management Services; Information Management Services; Information Technology Services; Real Property Services; Materiel Services; Acquisition Services; and Other Administrative Services.   Internal Services include only those activities and resources that apply across an organization and not to those provided specifically to a program.

Program Activity Architecture

Organizational Priorities

Summary of Progress Against Priorities

The environment in which the Tribunal operates is becoming increasingly challenging as the number of cases it reviews is growing considerably. The Tribunal was not able to meet its objective of rendering decisions within 90 days of the Hearing due to the growth in the number of Marine cases.
Priority 1Type[1]Strategic Outcome
Hold hearings expeditiously and informally. Ongoing To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under Federal transportation Acts reviewed by an independent body.
The Tribunal was able to achieve its Business Continuity Planning objectives in 2011-12.
Priority 2TypeStrategic Outcome
Business Continuity Planning Ongoing To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions. under Federal transportation Acts reviewed by an independent body.
The Tribunal was able to achieve its objective in this priority in 2011-12.
Priority 3TypeStrategic Outcome
Increase awareness of the Transportation Appeal Tribunal of Canada with respect to its mission, mandate, role and results achieved. Ongoing To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under Federal transportation Acts reviewed by an independent body.

Risk Analysis

The Tribunal's main risk is the increased pressure on its resources from an increased and unpredictable workload, such as the increased enforcement proceedings emanating from the marine sector, as well as the need to meet the obligations of government-wide horizontal initiatives. The Tribunal's activities are driven by external demands that it can only react to rather than plan for.

The Tribunal is working with Transport Canada, its portfolio department, on strategies to mitigate the risk associated with an increased workload.

Summary of Performance

2011–12 Financial Resources ($ thousands)
During the course of the fiscal year, the Tribunal received additional authorities to handle the increased workload following the addition of the Marine Transportation Security Act to its mandate.
Planned SpendingTotal AuthoritiesActual Spending
1,477.0 1,856.4 1,856.2
2011–12 Human Resources (full-time equivalents [FTEs])
PlannedActualDifference
12 10 2

Summary of Performance Tables

Progress Toward Strategic Outcome
Strategic Outcome: To provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under Federal transportation Acts reviewed by an independent body.
Program Activity Expected ResultsPerformance IndicatorsTargets2011–12 Performance
Access to an independent assessment governed by considerations of natural justice. Hearings conducted in a timely manner. 100% of decisions rendered within 90 days. Review Hearing decisions were rendered on average within 125 days and Appeal Hearing decisions within 150 days.
Plans, measures and arrangements are in place to ensure the continuous delivery of critical services, which permits the organization to recover its data and assets. Business Continuity Plan updated. Business Continuity Plan updated by September 2011. The Business Continuity Plan is reviewed annually and updated as required.
Tools developed to maintain business continuity plan readiness, such as contingency plan, emergency response plan and procedures for example. Tools developed and communicated amongst staff by September 2011. Tools supporting the Business Continuity Plan continue to be developed.
Working groups identified for the various planning committees (Contingency Planning and Emergency Response Planning) August 2011 The Tribunal has established a membership in an interdepartmental Emergency Response Plan committee.
Improved awareness and better information among the Transportation community and key stakeholders with respect to the Tribunal's mandate, services and decisions. Tribunal information accessible to the lay person in a timely manner. Ongoing Information is accessible in a timely manner
Participation in conferences and trade association meetings to enhance citizen engagement and public access to the Tribunal's program. Ongoing The Tribunal regularly participates in conferences and trade association meetings to enhance citizen engagement.
Promote the Tribunal's program in public events such as fairs and exhibitions. Ongoing The Tribunal regularly participates in conferences and trade association meetings to promote the Tribunal's program
Building and maintaining communication partnerships with the Transportation community to help meet diverse needs. Ongoing The Tribunal regularly participates in conferences and trade association meetings to build its relationship with the Transportation community
Liaison with other Federal Tribunals. Ongoing The Tribunal regularly discusses emerging issues with members of other Federal Tribunals.
Performance Summary, Excluding Internal Services
During the course of the fiscal year, the Tribunal received additional authorities to handle the increased workload following the addition of the Marine Transportation Security Act to its mandate. In addition, the variance between Total Authorities and Actual Spending is explained by a reallocation of resources between the Review and Appeal Hearings program acting and the Internal Services program activity.
Program
Activity
2010–11 Actual Spending2011–12
($ thousands)
Alignment to Government
of Canada Outcome
Main EstimatesPlanned SpendingTotal
Authorities
Actual
Spending
Review and Appeal Hearings 1,388.5 1,210.0 1,206.0 1,485.4 1,460.4 A safe and secure Canada
Total  1,388.5 1,210.0 1,206.0 1,485.4 1,460.4  
Performance Summary for Internal Services
During the course of the fiscal year, the Tribunal received additional authorities to handle the increased workload following the addition of the Marine Transportation Security Act to its mandate. In addition, the variance between Total Authorities and Actual Spending is explained by a reallocation of resources between the Review and Appeal Hearings program acting and the Internal Services program activity.
Program
Activity
2010–11
Actual Spending
2011–12
($ thousands)
Main EstimatesPlanned SpendingTotal
Authorities
Actual Spending
Internal Services 343.5 205.0 271.0 371.0 395.8

Expenditure Profile

Departmental Spending Trend ($ thousands)

Departmental Spending Trend ($ thousands)

Estimates by Vote

For information on the Tribunal's organizational Votes and/or statutory expenditures, please see the Public Accounts of Canada 2012 (Volume II). An electronic version of the Public Accounts 2012 is available on the Public Works and Government Services Canada's website.

Section II: Analysis of Program Activities by Strategic Outcome

Strategic Outcome

The Tribunal's strategic outcome is to provide the Canadian transportation community with the opportunity to have administrative or enforcement actions under federal transportation Acts reviewed by an independent body.

Program Activity [No. 1]: Review and Appeal Hearings

Program Activity Description

The Tribunal's main activity, Review and Appeal Hearings, is the provision of an independent review process for aviation, rail and marine by providing document holders with the opportunity to proceed with a hearing. The Tribunal represents the only forum ensuring that document holders have access to an independent assessment governed by considerations of natural justice. Its role does not overlap with, nor is it duplicated by, any other federal agency, board,  commission or tribunal. It is unique in the transportation field in that its function is entirely adjudicative.

2011–12 Financial Resources ($)
During the course of the fiscal year, the Tribunal received additional authorities to handle the increased workload following the addition of the Marine Transportation Security Act to its mandate. In addition, the variance between Total Authorities and Actual Spending is explained by a reallocation of resources between the Review and Appeal Hearings program acting and the Internal Services program activity.
Planned SpendingTotal AuthoritiesActual Spending
1,206.0 1,485.4 1,460.4
2011–12 Human Resources (full-time equivalents [FTEs])
PlannedActualDifference
9 7 2
Program Activity Performance Summary
Expected ResultsPerformance IndicatorsTargetsActual Results
Access to an independent assessment governed by considerations of natural justice. Hearings conducted in a timely manner. 100% of decisions rendered within 90 days. Review Hearing decisions were rendered on average within 125 days and Appeal Hearing decisions within 150 days.
Improved awareness and better information among the Transportation community and key stakeholders with respect to the Tribunal's mandate, services and decisions Tribunal information accessible to the lay person in a timely manner. Ongoing Information is accessible in a timely manner
Participation in conferences and trade association meetings to enhance citizen engagement and public access to the Tribunal's program. Ongoing The Tribunal regularly participates in conferences and trade association meetings to enhance citizen engagement.
Promote the Tribunal's program in public events such as fairs and exhibitions. Ongoing The Tribunal regularly participates in conferences and trade association meetings to promote the Tribunal's program
Building and maintaining communication partnerships with the Transportation community to help meet diverse needs. Ongoing The Tribunal regularly participates in conferences and trade association meetings to build its relationship with the Transportation community
Liaison with other Federal Tribunals. Ongoing The Tribunal regularly discusses emerging issues with members of other federal agencies, boards, commissions and tribunals.

Performance Summary and Analysis of Program Activity

The program's effectiveness can be measured by its ability to provide the Canadian transportation community with the opportunity to have Ministerial decisions reviewed fairly, equitably and within a reasonable period of time.

The Tribunal encourages the use of pre-hearing conferences to assist the parties appearing before it, to identify the issues for determination by the Tribunal and to disclose and exchange documents. This reduces the length of the hearings and avoids last-minute adjournments necessitated by late disclosure.

Facilitating discussions between the parties has also been particularly effective in settling licence suspensions and the refusal to renew on medical grounds without the necessity of a Review Hearing. The Tribunal Registrars contact the parties to schedule mutually agreed to Hearing dates to the extent possible to avoid unnecessary adjournments.

In 2010-11, the Tribunal referred 3 cases back to the Minister of Transport for reconsideration, pursuant to section 7.1 of the Aeronautics Act. In 2011–12, the Tribunal referred 6 cases back to the Minister for reconsideration, in light of the Tribunal lacking the power to substitute its own decision for that of the Minister in those cases. The average lapsed time between the conclusion of a Review Hearing and the issuance of a determination is 125 days and 150 days for an Appeal Hearing.

Lessons Learned

To promote communication between the parties with a view to settlement, the Registry encourages early disclosure of documents to the Document Holder or the Applicant. In order to resolve outstanding issues that may delay the scheduling of a Review or Appeal Hearing, the Registry will arrange a teleconference with a Tribunal Member.

In addition, experiences in aviation sector cases will prove valuable as marine and, eventually, rail sector cases increase in complexity and frequency and will provide precedents in training sessions for new Members.

Program Activity [No. 2]: Internal Services

Program Activity Description

Internal Services are groups of related activities and resources that are administered to support the needs of programs and other corporate obligations of an organization.   These groups are: Management and Oversight Services; Communications Services; Legal Services; Human Resources Management Services; Financial Management Services; Information Management Services; Information Technology Services; Real Property Services; Materiel Services; Acquisition Services; and Other Administrative Services.   Internal Services include only those activities and resources that apply across an organization and not to those provided specifically to a program.

The Tribunal is a participant in the Federal Sustainable Development Strategy (FSDS) and contributes to the Greening Government Operations targets through the Internal Services program activity. The Tribunal contributes to the following target area of Theme IV (Shrinking the Environmental Footprint – Beginning with Government) of the FSDS: green procurement.

For additional details on the Tribunal's Greening Government Operations activities, please see the List of Supplementary Information Tables in Section III.

2011–12 Financial Resources ($)
During the course of the fiscal year, the Tribunal received additional authorities to handle the increased workload following the addition of the Marine Transportation Security Act to its mandate. In addition, the variance between Total Authorities and Actual Spending is explained by a reallocation of resources between the Review and Appeal Hearings program acting and the Internal Services program activity.
Planned SpendingTotal Authorities*Actual Spending*
271.0 371.0 395.8
2011–12 Human Resources (full-time equivalents [FTEs])
PlannedActualDifference
3 3 0
Program Activity Performance Summary
Expected ResultsPerformance IndicatorsTargetsActual Results
Plans, measures and arrangements are in place to ensure the continuous delivery of critical services, which permits the organization to recover its data and assets. Business Continuity Plan updated Business Continuity Plan updated by September 2011. The Business Continuity Plan is reviewed annually and updated as required.
Tools developed to maintain business continuity plan readiness, such as contingency plan, emergency response plan and procedures for example. Tools developed and communicated amongst staff by September 2011. Tools supporting the Business Continuity Plan continue to be developed.
Working groups identified for the various planning committees (Contigency Planning and Emergency Response Planning). August 2011 The Tribunal has established a membership in an interdepartmental Emergency Response Plan committee.

Performance Summary and Analysis of Program Activity

As a micro-organization, the Tribunal relies heavily on third parties for the provision of many of its Internal Services. During this fiscal year, a Memorandum of Understanding (MOU) with Transport Canada was updated to formalize a service relationship with the Tribunal for the provision of human resources, financial management, accounting, contracting, information management technology and security services. The MOU describes the roles and responsibilities of each party with clarity and will enhance the efficiency of the delivery of these specific services.

Lessons Learned

Through the advice received from third parties, the Tribunal will continue to implement changes to improve the delivery of its Internal Services.

Section III: Supplementary Information

Financial Highlights

Condensed Statement of Financial Position (Unaudited)
As at March 31, 2012
($)
  Change
%
2011–122010–11
Total net liabilities (50.4) 193,151 389,277
Total net financial assets (27.8) 119,386 165,460
Departmental net debt (67.0) 73,765 223,817
Total non-financial assets (13.3) 8,166 9,423
Departmental net financial position 69.4 (65,599) (214,394)
Condensed Statement of Operations and Departmental Net Financial Position (Unaudited)
For the Year Ended March 31, 2012
($)
  Change
%
2011–122010–11
Total expenses 0.3 1,949,390 1,943,780
Total revenues - - -
Net cost of operations before government funding and transfers 0.3 1,949,390 1,943,780
Departmental net financial position 69.4 (65,599) (214,394)

Financial Statements

Financial statements can be found on the Transportation Appeal Tribunal of Canada website.

List of Supplementary Information Tables

Electronic supplementary information tables listed in the 2011–12 Departmental Performance Report can be found on the Treasury Board of Canada Secretariat's website.

Section IV: Other Items of Interest

Organizational Contact Information

Transportation Appeal Tribunal of Canada
333 Laurier Avenue West, Room 1201
Ottawa, ON K1A 0N5
Telephone: 613-990-6906
Fax: 613-990-9153
Web Site: www.tatc.gc.ca 

J. Richard W. Hall – Chairperson and CEO
Eleanor Humphries – Vice-Chairperson
Sonny Kim – Director, Corporate Services
Mary Cannon – Registrar (Ontario, Prairie & Northern and Pacific Regions)
Monique Godmaire – Registrar (Headquarters, Quebec and Atlantic Regions)


[1]. Type is defined as follows: previously committed to—committed to in the first or second fiscal year prior to the subject year of the report; ongoing—committed to at least three fiscal years prior to the subject year of the report; and new—newly committed to in the reporting year of the Report on Plans and Priorities or the Departmental Performance Report.